Firm profile

Pettinga Financial Advisors, LLC

EVANSVILLE, INCRD 156369Registration Status: ApprovedEffective since February 11, 2011SEC # 801-72154Latest ADV June 11, 2026

Pettinga Financial Advisors, LLC is an SEC registered investment adviser organized as a limited liability company with a primary office location in Evansville, IN. Its latest Form ADV filing, dated June 11, 2026, reports $1.3B in regulatory assets under management, 11 employees, 2 offices, and 2,267 accounts.

Assets Under Management
$1.3B
Employees
11
Offices
2 offices
Total Clients
712

Associated firm names

1 name listed
  • PETTINGA FINANCIAL ADVISORS, LLC

Leadership

4 roles identified
CEOTonya F. Borders
CCOTonya F. Borders
CFOTonya F. Borders

Advisory services offered

5 types reported
Financial Planning Services
Pension consulting services
Portfolio management for businesses

Fee models offered

2 types reported
Asset based fees
Fixed fees

Offices & Contact

Primary office

EVANSVILLE, Indiana, United States

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Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

Indiana

EVANSVILLEPrimary office

1 office records listed · 2 total offices reported. 1 additional office addresses are undisclosed and are not mapped. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$1.3Bas of June 11, 2026
Discretionary98.1%
$1.3B
98% of total RAUM98.1%
Non-discretionary1.9%
$25M
2% of total RAUM1.9%
Regulatory assets under management are split between discretionary and non-discretionary assets.

Client Coverage Demographics

Top client segmentIndividuals represent 57.7% of total clients.
Top client categories% of clientsClients
1
Individuals
57.7%
411
2
HNWI
36.1%
257
3
Corporations
3.1%
22
4
Charitable
1.8%
13
5
Pension Plans
1.3%
9

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$1.3B
Total Accounts2,267
10Y AUM Change+$596M (+87.7%)

Private Funds

Private funds reported by Pettinga Financial Advisors, LLC

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Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees11
Clients per Employee65:1
10Y Employee Change+4 (+57.1%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.


Ownership

Reported direct and indirect ownership ranges

Each range applies to a separate reported relationship and should not be added together.

Reported ownership ranges

Highlighted bands show the percentage range reported in Form ADV.

0%25%50%75%100%
FOCUS OPERATING, LLCDirect owner · Schedule AInterest in PETTINGA FINANCIAL ADVISORS, LLC
75%+
FOCUS FINANCIAL PARTNERS, LLCIndirect owner · Schedule BInterest in FOCUS OPERATING, LLC
75%+
FOCUS FINANCIAL PARTNERS INC.Indirect owner · Schedule BInterest in FOCUS FINANCIAL PARTNERS, LLC
75%+
FERDINAND FFP ACQUISITION, LLCIndirect owner · Schedule BInterest in FOCUS FINANCIAL PARTNERS INC.
75%+
FERDINAND FFP ULTIMATE HOLDINGS, LPIndirect owner · Schedule BInterest in FOCUS FINANCIAL PARTNERS INC.
75%+
FERDINAND FFP INTERMEDIATE HOLDINGS, LLCIndirect owner · Schedule BInterest in FERDINAND FFP ACQUISITION, LLC
75%+
FERDINAND FFP PARENT, INC.Indirect owner · Schedule BInterest in FERDINAND FFP INTERMEDIATE HOLDINGS, LLC
75%+
FERDINAND FFP ULTIMATE HOLDINGS, LPIndirect owner · Schedule BInterest in FERDINAND FFP PARENT, INC.
75%+
CD&R FERDINAND HOLDINGS, L.P.Indirect owner · Schedule BInterest in FERDINAND FFP ULTIMATE HOLDINGS, LP
50% to < 75%
CLAYTON, DUBILIER & RICE FUND XII, L.P.Indirect owner · Schedule BInterest in CD&R FERDINAND HOLDINGS, L.P.
50% to < 75%
CD&R FERDINAND CO-INVESTOR, L.P.Indirect owner · Schedule BInterest in CD&R FERDINAND HOLDINGS, L.P.
25% to < 50%

Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Pettinga Financial Advisors, LLC.

Reported ownership and control details

Form ADV · Filing date 2026-06-11 · Schedules A and B

14 entries
#Owner / person & roleInterest in entityReported interestControl personTitle / status acquiredSource
1MATTHEW EDWARD VOLKMANSENIOR VICE PRESIDENTIndividualPETTINGA FINANCIAL ADVISORS, LLCLess than 5%Code NAYesSENIOR VICE PRESIDENT12/2010Schedule APDF page 20
2BRIAN JAY GOEBELSENIOR VICE PRESIDENT/CIOIndividualPETTINGA FINANCIAL ADVISORS, LLCLess than 5%Code NAYesSENIOR VICE PRESIDENT/CIO12/2010Schedule APDF page 20
3TONYA FAYE BORDERSPRESIDENT/CEO/COO/CFO/CCOIndividualPETTINGA FINANCIAL ADVISORS, LLCLess than 5%Code NAYesPRESIDENT/CEO/COO/CFO/CCO01/2011Schedule APDF page 20
4FOCUS OPERATING, LLCMEMBER (MANAGER)Domestic entityPETTINGA FINANCIAL ADVISORS, LLC75% or moreCode EYesMEMBER (MANAGER)12/2010Schedule APDF page 20
5FOCUS FINANCIAL PARTNERS, LLCMEMBERDomestic entityFOCUS OPERATING, LLC75% or moreCode EYesMEMBER01/2007Schedule BPDF page 20
6FOCUS FINANCIAL PARTNERS INC.MEMBERDomestic entityFOCUS FINANCIAL PARTNERS, LLC75% or moreCode EYesMEMBER07/2018Schedule BPDF page 21
7FERDINAND FFP ACQUISITION, LLCSHAREHOLDER, CLASS A COMMON STOCKDomestic entityFOCUS FINANCIAL PARTNERS INC.75% or moreCode EYesSHAREHOLDER, CLASS A COMMON STOCK08/2023Schedule BPDF page 21
8FERDINAND FFP ULTIMATE HOLDINGS, LPSHAREHOLDER, CLASS B COMMON STOCKDomestic entityFOCUS FINANCIAL PARTNERS INC.75% or moreCode EYesSHAREHOLDER, CLASS B COMMON STOCK08/2023Schedule BPDF page 21
9FERDINAND FFP INTERMEDIATE HOLDINGS, LLCMEMBERDomestic entityFERDINAND FFP ACQUISITION, LLC75% or moreCode EYesMEMBER08/2023Schedule BPDF page 21
10FERDINAND FFP PARENT, INC.MEMBERDomestic entityFERDINAND FFP INTERMEDIATE HOLDINGS, LLC75% or moreCode EYesMEMBER08/2023Schedule BPDF page 21
11FERDINAND FFP ULTIMATE HOLDINGS, LPSHAREHOLDERDomestic entityFERDINAND FFP PARENT, INC.75% or moreCode EYesSHAREHOLDER08/2023Schedule BPDF page 21
12CD&R FERDINAND HOLDINGS, L.P.PARTNERDomestic entityFERDINAND FFP ULTIMATE HOLDINGS, LP50% to less than 75%Code DYesPARTNER08/2023Schedule BPDF page 21
13CD&R FERDINAND CO-INVESTOR, L.P.PARTNERForeign entityCD&R FERDINAND HOLDINGS, L.P.25% to less than 50%Code CYesPARTNER08/2023Schedule BPDF page 21
14CLAYTON, DUBILIER & RICE FUND XII, L.P.PARTNERForeign entityCD&R FERDINAND HOLDINGS, L.P.50% to less than 75%Code DYesPARTNER08/2023Schedule BPDF page 21

Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.

Compliance & Disclosures

Filing dated 6/11/2026 4:52:51 PM

Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.

RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No

In the past ten years, have you or any advisory affiliate:

  • A1Been convicted of or pleaded guilty or no contest to a felony?No
  • A2Been charged with a felony?No
BMisdemeanors2 No

In the past ten years, have you or any advisory affiliate:

  • B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
  • B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No

Has the SEC or CFTC ever:

  • C1Found you or an advisory affiliate made a false statement or omission?No
  • C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
  • C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No

Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:

  • D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
  • D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
  • D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No

Has a self-regulatory organization or commodities exchange ever:

  • E1Found you or an advisory affiliate made a false statement or omission?No
  • E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
  • E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
  • FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
  • GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No

(1) Court actions

Has a domestic or foreign court:

  • H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
  • H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
  • H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No

(2) Pending civil proceedings

  • H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.